Enforcement

Regulation

Passage of Bill 67 strengthens investor protection in Nova Scotia

October 12, 2018 James Langton
Regulation

OSC fines eToro $500,000 for trading without registration

October 11, 2018 James Langton
Regulation

NASAA cracks down on unregistered offenders

October 10, 2018 James Langton
Regulation

Omega ATS sanctioned for dissemination of inaccurate information

October 5, 2018 James Langton
Regulation

Scotiabank to pay US$800,000 penalty for spoofing precious metals trades: CFTC

October 2, 2018 James Langton
Regulation

Ontario advisor sentenced to six months in jail

September 28, 2018 James Langton
Regulation

IIROC fines CIBCWM and B.C. branch manager for failing to supervise advisor

September 25, 2018 James Langton
Regulation

MFDA bans former Scotia Securities rep

September 6, 2018 James Langton
Regulation

OSC fines former Aston Hill CEO $125,000

August 31, 2018 James Langton
Regulation

MFDA fines Sentinel Financial

August 29, 2018 James Langton
Regulation

SEC charges Moody’s with internal controls failures and ratings symbols deficiencies

August 28, 2018 James Langton
Regulation

OSC doubles fine against former First Leaside CFO

August 15, 2018 James Langton